DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
B••••••• F•••••••• C•••••
Latest filing Mar 26, 2026
First filing on the tape Jan 19, 2012 · 30 filings
SEC status approved since Jul 23, 2007
RAUM
$230M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$227M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$28.7M
derived; firm RAUM over IAPD count
Employees
26
14 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$230M as of Mar 26, 2026
Apr 2, 2012$70.0M then
HNW client RAUM$60.3M as of Mar 26, 2026
Mar 9, 2018$18.6M then
State-registered IARs (5.B.3)6 as of Mar 26, 2026
Mar 27, 20134 then
Employees (5.A)26 as of Mar 26, 2026
Mar 27, 201315 then
Private funds: no history
RAUM -1.1% over the last fiscal year+7.1% a year over threeIARs 8 to 6offices 4 to 3
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $28.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $591,159derivedHNW RAUM over HNW clients
- Average account
- $155,419derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.9%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $110M, 370 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$167M73%
- High-net-worth individuals$60.3M26%
- Corporations and businesses$1.9M0.8%
- Charitable organizations$507,6120.2%
- Individual clients
- 597reported
- HNW clients
- 102reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,478reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $110M for 370 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=7.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• W•••••• T••••Certified Financial Planner | Clarion, Ia | Jan 1, 1999 | 56 y | 1 |
| M•••• W•••••• S••••• | Clarion, Ia | Jan 1, 1999 | 36 y | 0 |
| L•••• L•• P•••••• | Kalona, Ia | Dec 20, 2007 | 18 y | 0 |
| S•••••• J••• W••• | Clarion, Ia | Dec 3, 2008 | 21 y | 0 |
| J••••• B••••• M••••Certified Financial Planner | Clarion, Ia | Oct 1, 2014 | 30 y | 3 |
| B•••••• R•• W•••••Certified Financial Planner | Brentwood, Tn | Oct 1, 2014 | 19 y | 1 |
| C•••••• H••••• D••••• | Gilmore City, Ia | Sep 27, 2024 | 10 y | 1 |
| D•••• S•••••• | Clarion, Ia | Dec 16, 2025 | 26 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- F••• R•• S••••• to H•••••• I••••••••• I•••Jun 25, 2025 · RIA to RIA
Joined, latest
- D•••• S•••••• from O•••• W•••••• I•••Dec 16, 2025 · Affiliated broker-dealer or bank to independent RIA
- C•••••• H••••• D••••• from W••••••• F•••••••• S•••••••• I•••Sep 27, 2024 · Affiliated broker-dealer or bank to independent RIA
- J••••• B••••• M•••• from W••••••• F•••••••• S•••••••• I•••Oct 1, 2014 · Other
- B•••••• R•• W••••• from W••••••• F•••••••• S•••••••• I•••Oct 1, 2014 · Other
- F••• R•• S••••• from L•• F•••••••• L••May 19, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••• J••••• W•••••• · Chief Executive Officer, Chief Financial Officer, Chief Compliance Officer, And Directorcontrolsince 04/1985 · owns 75% or more
- T••••• J••••• W•••••• · President And Majority Owner Of B••••••• G••••• I•••controlsince 04/1985 · owns 50% to 75% of B••••••• G••••• I•••
Entity owners
- B••••••• G••••• I••• · 100% Owner Of B••••••• F•••••••• C•••••direct · owns 75% or more
Related persons
Schedule D 7.A
- B••••••• I••••••••real estaten
- B••••••• T•• A•• A••••••••• N••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Clarion, Ia · principal | 7 | 1 | 0 | ||
| Brentwood, Tn | 2 | 0 | 0 | ||
| Ida Grove, Ia | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Ida Grove, IA3 employees
- Brentwood, TN3 employees
- Garner, IA1 employees
- Gilmore City, IA1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Mar 26, 2026employees per registered advisor of 3.2 against a peer median of 1.2 (1314 comparable advisers, 98.0th percentile, 6.9 robust deviations)peers: independent wealth managers, $100M to $500M (1,314) · 98% percentile
- HNW share shiftChange between filings · filing Mar 26, 2026HNW share of RAUM moved from 73.0% to 26.0% between the annual amendments of 2025-03-20 and 2026-03-26peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,710 to 1,478Oct 29, 2025 to Mar 26, 2026
- Advisory employees · 8 to 14Oct 29, 2025 to Mar 26, 2026
- BD registered reps · 8 to 7Oct 29, 2025 to Mar 26, 2026
- Corporate clients · unset to 11.0Oct 29, 2025 to Mar 26, 2026
- HNW clients · 123 to 102Oct 29, 2025 to Mar 26, 2026
- Individual clients · 644 to 597Oct 29, 2025 to Mar 26, 2026
- Assets in custody · $98.4M to $110MOct 29, 2025 to Mar 26, 2026
- Insurance-licensed employees · 1 to 0Oct 29, 2025 to Mar 26, 2026
- State-registered IARs · 8 to 6Oct 29, 2025 to Mar 26, 2026
- Other offices · 4 to 3Oct 29, 2025 to Mar 26, 2026
- Discretionary RAUM · $232M to $230MOct 29, 2025 to Mar 26, 2026
- HNW RAUM · $170M to $60.3MOct 29, 2025 to Mar 26, 2026
- Individual RAUM · $61.2M to $167MOct 29, 2025 to Mar 26, 2026
- RAUM · $232M to $230MOct 29, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0Mar 20, 2025 to Oct 29, 2025
- Accounts · 1,620 to 1,710Feb 18, 2025 to Mar 20, 2025
- Advisory employees · 12 to 8Feb 18, 2025 to Mar 20, 2025
- HNW clients · 77 to 123Feb 18, 2025 to Mar 20, 2025
- Individual clients · 670 to 644Feb 18, 2025 to Mar 20, 2025
- Assets in custody · $112M to $98.4MFeb 18, 2025 to Mar 20, 2025
- Employees · 20 to 26Feb 18, 2025 to Mar 20, 2025
- Insurance-licensed employees · 0 to 1Feb 18, 2025 to Mar 20, 2025
- Discretionary RAUM · $210M to $232MFeb 18, 2025 to Mar 20, 2025
- HNW RAUM · $82.9M to $170MFeb 18, 2025 to Mar 20, 2025
- Individual RAUM · $126M to $61.2MFeb 18, 2025 to Mar 20, 2025
- RAUM · $210M to $232MFeb 18, 2025 to Mar 20, 2025
- Other offices · 3 to 4Mar 13, 2024 to Dec 9, 2024
- Accounts · 1,632 to 1,620Jan 10, 2024 to Mar 13, 2024
- Individual clients · 644 to 670Jan 10, 2024 to Mar 13, 2024
- Assets in custody · $72.4M to $112MJan 10, 2024 to Mar 13, 2024
- Employees · 21 to 20Jan 10, 2024 to Mar 13, 2024
- Discretionary RAUM · $187M to $210MJan 10, 2024 to Mar 13, 2024
- HNW RAUM · $71.6M to $82.9MJan 10, 2024 to Mar 13, 2024
- Individual RAUM · $114M to $126MJan 10, 2024 to Mar 13, 2024
- RAUM · $187M to $210MJan 10, 2024 to Mar 13, 2024
- Accounts · 1,639 to 1,632Nov 28, 2022 to Mar 30, 2023
- Advisory employees · 17 to 12Nov 28, 2022 to Mar 30, 2023
- BD registered reps · 9 to 8Nov 28, 2022 to Mar 30, 2023
- HNW clients · 37 to 77Nov 28, 2022 to Mar 30, 2023
- Individual clients · 1,639 to 644Nov 28, 2022 to Mar 30, 2023
Signals
2 dated events
- F••• R•• S••••• left B••••••• F•••••••• C••••• for H•••••• I••••••••• I••• (registered 2025-06-23)Jun 25, 2025 · Advisor changed firm · fact
- Sue Kimberly Ausborn (Assistant Compliance Officer) no longer on Schedule A of B••••••• F•••••••• C••••• (listed 2022-03-30, absent 2022-11-28)Nov 28, 2022 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- admin@bradfordfinancialcenter.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jim@bradfordfinancialcenter.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-348-4419reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 515-532-6661reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/bradford-financial-centerreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 515.532.6661reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- bradfordfinancialcenter.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- bradfordfinancialcenter.com/team-member-01/james-w-tauszreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $28.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026